EFTA01361642.pdf

Portfolio Holdings (continued) Cost Basis on fixed income securities is adjusted for amortization, accretion or principal paydowns. The method of calculation is based upon the type of fixed income security and certain attributes, obtained from sources believed to be rekable. In the event. one or more of these attributes is changed, Mere may be a temporary incorrect adjusted cost basis reflected until the portfolio system is amended to reflect this change. These calculations will not be performed under certain circumstances, including those involving continuously callable bonds. foreign bonds. variable rates. bonds in defauk. index-linked bonds. bonds sold short or bonds that have a negative yield. This information is meant as a general guide and you should consuk your tax advisor in the preparation of your tax returns. 3 The cost basis of this security has been provided to us by you or your introducing firm and Pershing makes no representation as to the accuracy of this information. 12 Pershing has received updated cost basis information, therefore cost basis provided on previous client brokerage statements may differ from the new cost basis reported in this section. 13 The cost basis of this security has been provided to us by the delivering firm or transferring agent and Pershing makes no representation as to the accuracy of this information. Holdings Summary by Currency Currency Cash Fixed Income Equities Total by Currency L S DOLLARS 1.196.003 1.510.000 1.532.160 4.238.163 LSO BRITISF POUAD 106.920 1,952.800 0 2.059.720 GBP Total USD Equivalent 1,382,692 4,554,415 1,532,160 7,449,267 USD % of Allocation 18.29% 61.14% 20.57% 100.00% M essa es Federal Deposit Insurance Corporation (FDIC)4nsured Bank Deposits are not protected by Securities Investor Protection Corporation(SIPC). For disclosure of rates for DWS money market funds, please visit the DWS Investments website at https1Nnvw.dws-investments.comEN/products/money-market-funds-yields.jsp. Please note that all money market funds listed on the website may not be offered through us. Although a money market mutual fund seeks to preserve the value of your investment at S1 per share, it is possible to lose money by investing in a money market mutual fund. Shares of a money market mutual fund or the balance of a bank deposit product held in your brokerage account may be liquidated upon request with the proceeds credited to your brokerage account. Please see the money market mutual fund's prospectus or the bank deposit product's disclosure document or contact your advisor for additional information. Please note the following information for Pershing's 2014 IRS Forms 1099 (8, DIV, INT, OID and MISC): Your form 1099 will be delivered as early as possible, beginning January 31, 2015. By February 17, you will receive either your 1099 form ora special Pending 1099 Notice. The Pending 1099 Notice will be sent if issuers of securities you hold have not yet provided their final tax information. It will inform you of the securities that are pending final reporting, and will provide the anticipated mad date of your 1099 form. Your 1099 will be mailed no later than March 16, 2015. Pershing's Impartial Lottery Process: Partial Calls Information about Pershing's impartial lottery process can be found on pershing.corNbusiness_continuity. You may also request a printed copy of this information by calhng (888) 367-2563, option 3 then option 5. When a security is subject to a partial redemption, pursuant to FINRA Rule 4340, Pershing must have procedures in place that are designed to treat clients fairly in accordance with an impartial lottery process. When an issuer initiates a partial call of securities, the depository holding such securities (typically, the Depository Trust Clearing and Corporation, or DTCC) conducts an impartial, computerized lottery using an incremental random number technique to determine the allocation of called securities to participants for which it holds securities on deposit (including Pershing). Because DTC's lottery is random and impartial, participants may or may not receive an allocation of securities selected for redemption. When Pershing is notified that it received an allocation of called securities, Pershing conducts a similar, computer-generated random lottery. The lottery determines the accounts that will be selected and the number of securities in the account that will be redeemed. Allocations are based on the number of trading units held in the account. The probabdity of any trading unit held by an account being selected as called n a partial call is proportional to the total number of trading units held through Pershing. Page 6 of 13 Account lumber. ,.........,,,.,. „., 4 V..tnj P'•••••,.. G!. • wobli 4)•••••L Go paperless SOLTI- ERA TRUSTCOAIPAAYIAC CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0050853 CONFIDENTIAL SDNY_GM_00197037 EFTA01361642